About Us
Wellington Management offers comprehensive investment management capabilities that span nearly all segments of the global capital markets. Our investment solutions, tailored to the unique return and risk objectives of institutional clients in more than 60 countries, draw on a robust body of proprietary research and a collaborative culture that encourages independent thought and healthy debate. As a private partnership, we believe our ownership structure fosters a long-term view that aligns our perspectives with those of our clients.
About the Role
Position Overview
The Compliance Analyst will support Wellington Management’s global private investments compliance program as well as its global investment platform and trading compliance program, focusing on information controls. As Wellington is expanding the asset classes, products and geographical footprint of its public and private investments businesses, a key responsibility of the role will be supporting the development and strengthening of critical controls related to the firm’s intentional intake of non-public information. The successful candidate will hone a deep understanding of the firm’s wall cross process for privately marketed transactions for both fixed income and equity opportunities, work collaboratively with various internal stakeholders on issue identification and escalations, and assist with the strategic implementation of IT solutions to streamline the compliance framework around conflicts and non-public information. This position is open to candidates in Boston, New York and Chicago. We have a hybrid work environment in which both remote work and time spent in the office will play a critical role. Our employees are welcome to work remotely two days a week as a standard practice. The Compliance Analyst will be a member of the Legal, Compliance & Risk Group and will report to a Compliance Officer based in our Boston office, working closely with other compliance professionals and attorneys.
Responsibilities
The Compliance Analyst’s principal responsibilities will include the following:
Enhance the firm’s information controls and monitoring relating to the intake, retention and dissemination of confidential information for both private and public companies; enhance the scope and integrity of controls monitoring the communication of “private side” information to the firm’s “public side” investors
Assist with providing timely regulatory advice to investment, business and infrastructure teams, on information barrier requirements, regulatory obligations and related internal policies and procedures
Drive the firm’s information barrier-cross process and maintain oversight of restricted lists associated with the private investments business
Collaborate with EMEA and APAC Legal and Compliance colleagues to establish a coordinated approach to information controls
Synthesize and organize information, create team reference tools, and assist with enhancing and maintaining team documentation practices
Participate in developing and conducting regulatory training
Support the firm’s compliance policies and procedures governance, including revising and drafting of applicable policies and procedures
Support regulatory inquiry and exam management, as appropriate
Qualifications
2 to 6 years of legal or compliance experience
Bachelor’s degree plus professional designation (e.g. CFA) a plus
experience working at a large investment manager with diverse business lines or in a capacity designing and monitoring information controls is a plus
experience working at an investment adviser or some working knowledge of (i) Control Room or information barrier practices and/or (ii) the trading rules across multiple jurisdictions/regulatory regimes a plus
experience leveraging/utilizing technology and/or working closely with IT professionals to solve complex problems is a plus
Ability to synthesize, condense and convey complex information to key stakeholders in clear, digestible, and simple terms
Ability to influence outcomes through collaboration and effective challenge
Strong written and oral communication skills
Proficiency in various technology tools to facilitate process, documentation, audit trail and reporting capabilities.
Highly organized and detail oriented with the ability to manage multiple initiatives simultaneously; proactive, self-motivated
Ability to self-start, think creatively and initiate projects that lead to improved scalable workflows
Familiarity with U.S. Investment Advisers Act and other rules and regulations applicable to asset managers
Not sure you meet 100% of our qualifications? That’s ok. If you believe that you could excel in this role, we encourage you to apply and welcome a chance to review your background. We are dedicated to building and maintaining a diversified workforce and considering a broad array of candidates with a variety of skill, workplace experiences, and backgrounds.
As an equal opportunity employer, Wellington Management ensures that all qualified applicants will receive equal consideration for employment without regard to r ace, color, sex, sexual orientation, gender identity, gender expression, religion, creed, national origin, age, ancestry, disability (physical or mental), medical condition, citizenship, marital status, pregnancy, veteran or military status, genetic information or any other characteristic protected by applicable law . If you are a candidate with a disability, or are assisting a candidate with a disability, and require an accommodation to apply for one of our jobs, please email us at .
At Wellington Management, our approach to compensation is designed to help us attract, inspire and retain the best talent in our industry. We strive to pay employees fairly and competitively across all levels and roles. Our approach to compensation considers all aspects of total compensation; all employees are eligible to receive salary, variable compensation, and benefits. The base salary range for this position is:
USD 65,000 - 150,000
This range takes into account the wide range of factors that are considered when making compensation decisions, including but not limited to skill sets; role; skills and experience; certifications; and education. This range is an estimate, and further details on salary and total compensation aspects will be shared with candidates during the recruitment process.
Base salary is only one component of Wellington’s total compensation approach. Other rewards may include a discretionary Corporate Bonus and/ or Incentives, if eligible. In addition, we offer a comprehensive and high value benefit package to meet the unique needs of our employees and their families, and we are committed to fostering a flexible work environment that enables employees to thrive personally and professionally. Examples of our benefits include retirement plan, health and wellbeing, dental, vision, and pharmacy coverage, health savings account, flexible spending accounts and commuter program, employee assistance program, life and disability insurance, adoption assistance, back-up childcare, tuition/CFA reimbursement and paid time off (leave of absence, paid holidays, volunteer, sick and vacation time)
Tracing our history to 1928, Wellington Management is one of the world’s largest independent investment management firms. We serve as a trusted adviser to clients in over 60 countries, visit our website to see our assets under management. Our innovative investment solutions are built on the strength of proprietary, independent research and span nearly all segments of the global capital markets, including equity, fixed income, multi-asset, and alternative strategies. As a private partnership whose sole business is investment management, our long-term views and interests are aligned with those of our clients. We are committed to attracting a talented and diverse workforce, and to fostering an open, collaborative culture of inclusivity because we believe multiple perspectives lead to more informed investment and business decisions. As an Equal Opportunity Employer, we welcome people with diverse life experiences, fresh ideas, and specialized subject-matter expertise.
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